1. E-learning

FINMA's enforcement procedure

In a few words

The course consists of four parts. The first part explains the FINMA enforcement process and the legislative and regulatory framework of the enforcement procedure. The second part describes the behaviour of the financial intermediary that may lead FINMA to issue an enforcement decision against it and the key steps in the enforcement procedure. The third part deals with the measures that can be taken by FINMA against the financial intermediary following an enforcement procedure. Finally, the course concludes with the financial intermediary's defence against FINMA's decisions at the end of its enforcement proceedings and the possible criminal consequences.


Price: CHF 280.-
Duration: 60 minutes
Certification test: 35 Questions
Access: 1 month
Available languages:

Experts

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